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中国证券业协会关于加强会员制证券投资咨询业务自律管理的通知 The Circular of the Securities Association of China on Strengthening Self-discipline Administration of Securities Investment Consultancy Business with Membership System

2006-05-12 19:31   我要纠错 | 打印 | 收藏 | | |

颁布日期:20050120  实施日期:20050120  颁布单位:中国证券业协会

  January 20, 2005

  All members of securities investment consultancy agencies:

  Many securities investment consultancy agencies have developed the securities investment consultancy business with membership (hereinafter referred to as business with membership system) in order to satisfy the demand of investors for individuation, specialization and multi-level in investment consultancy services. Business with membership system refers to the securities investment consultancy business in that securities investment consultancy agencies carry out investment analysis through public media, recommend consultancy services to investors, canvass members and collect member fees. Recently, business with membership system develops quickly; the business scale and influence expand continuously, which shows that business with membership system conforms to the need of market development, and has a practical foundation of market demand. However, there are some new instances and problems in the developing process of business with membership system, and with a view to promoting the healthy and normalized development of business with membership system, supporting industry innovation, maintaining industry image, and protecting investors' interests, the Securities Association of China puts forward the following requirements on securities investment consultancy agencies in this business:

  1. The development of business with membership system shall subject to the provisions of the Securities Law, the Interim Measures for the Administration of Securities and Future Investment Consultancy and the Rules for Implementation thereof, and the Circular on Certain Issues concerning Normalizing Securities Investment Consultancy Business Developed Publicly etc., and the securities investment consultancy agencies shall discipline themselves strictly and practice lawfully. The securities investment consultancy agencies shall not carry out the business with membership system via others by means of leasing or lending the consultancy agencies license or contracting the operation right. With respect to any non-practicing institutions and non-practicing personnel engaging in the illegal operational activities of this business, all member units and licensed practicing personnel shall report in time to the Securities Association of China, or inform directly administrative supervision departments of an offence.

  2. Securities investment consultancy agencies shall strengthen the internal management and perfect the internal rules and regulations, especially shall have such written provisions as the prescriptions governing analysts and business personnel, investment consultancy business rules, sales business rules, work procedures, standardized contracts, clients service management system, regulation-conformability control, disputes management and settlement, and shall adopt practical measures to ensure the execution of these provisions.

  3. Securities investment consultancy agencies and practicing personnel shall not utilize the consultancy service to manipulate markets in collusion with others or carry out inside trading, shall not provide non-objective investment analysis or investment consultancy because the members hold stocks. The investment analysis and consultancy shall not include false, exaggerated, unilateral or misleading contents. The business staff shall not have any behavior prohibited by laws and regulations, and shall perform the obligations of practicing challenge and interest disclosure.

  4. The contract of business with membership system shall specify the rights and obligations relations between securities investment consultancy agencies and members. The contract clauses shall include but not be limited to: definite indication of securities market risks, and that the investors bear independently the investment risks and loss; definite indication that consultancy agencies shall not, in any form, promise investment profits, or share the investment profits or loss with investors as well; specification that the body of a contract shall be the consultancy company and any practicing personnel shall not collect secretly consultancy fees from clients; specification of contents, mode, fees, time limit etc. of consultancy services; and specification of disputes settlement mechanism, liabilities for breach of a contract and conditions of rescission of a contract.

  No consultancy fee may be collected or received in advance in any form before the conclusion of a contract.

  5. Securities investment consultancy agencies shall formulate relevant systems in that special persons shall be responsible for dealing with the disputes with clients, and recording all disputes and their settlements about the business with membership system for future reference.

  6. The members of the securities investment consultancy agencies shall place the clients' interests on the first position, endeavor to improve the research and analysis level, and provide high-quality services for clients in good attitude.

  7. With respect to infringement of the above-mentioned requirements, the Association shall impose disciplinary sanctions on the relevant institution or practicing personnel and make misconduct record in the integrity database pursuant to such self-discipline rules as the Articles of Association and self-discipline convention, etc.

  The Securities Association of China will be closely concerned about the development tendency of the business with membership system, and figure out at proper time special self-discipline rules in accordance with the need of business development. All members of securities investment consultancy agencies, after the receipt of this Circular, shall conduct strict self-examination and implement earnestly in line with the requirements, and report in time to the Association any new instances and problems confronted in the business development.

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